Senior Principal - Legal Counsel (Corporate & Securities)

About the Role

This position advises the Company on public company and corporate law matters, including securities law compliance, public company reporting, corporate governance, and corporate transactions, with an emphasis on securities and public reporting. The Senior Counsel – Corporate and Securities plays a critical role in driving best-in-class disclosure, governance, and compliance practices that help protect the Company and advance its interests. The Company is entrepreneurial, dynamic, and growth-oriented, and this role serves as a valued partner to the Company’s senior and executive leadership. While the role spans the full range of corporate and securities matters, the ideal candidate brings depth in securities and public company reporting and will have the opportunity to grow into governance, strategic transactions, and other corporate areas over time. Members of the legal team work in an exciting, people-centered culture where their voice makes a difference.

Responsibilities

• Provide legal advice on public company matters, including compliance with the Securities Exchange Act of 1934, Securities Act of 1933, and NYSE listing standards.
• Draft and review Forms 10-K, 10-Q, 8-K, Section 16 filings (Forms 3, 4, and 5), and proxy statements.
• Advise on earnings releases, guidance, investor presentations and communications, and compliance with Regulation FD.
• Administer the Company’s insider trading policy and Rule 10b5-1 trading plans.
• Develop and implement policies, processes, and strategies for compliance with corporate and securities laws and regulations.
• Support interactions with regulators and auditors.
• Prepare board materials and draft resolutions and board meeting minutes.
• Support the board of directors and monitor evolving governance standards to drive improvements.
• Support M&A and capital markets transactions, including issuances of debt and equity offerings, investments, asset sales and purchases, and financing arrangements.
• Research, analyze, and interpret proposed and existing laws, statutes, and regulations.
• Identify, monitor, and address issues of legal risk.
• Structure, draft, negotiate, and/or approve legal contracts, letters of agreement, policies, and other documents.
• Provide expert, practical legal advice on a wide array of federal, state, and local laws and regulations affecting assigned lines of business and/or functions.
• Develop sound legal assessments, interpretations, recommendations, and opinions regarding the Company’s legal rights and obligations.
• Develop legal strategies for achieving business goals and resolving complex legal problems, with oversight as needed.
• Lead discussions on complex legal topics with internal partners and apply sound ethical judgment in execution of all duties.
• Establish operational plans for the job area and develop new products, processes, standards, or operational plans that impact functional results.

Requirements

• Bachelor’s Degree required and completion of accredited Law School with a J.D. degree.
• Licensed Attorney admitted to practice in Virginia, North Carolina, or Maryland; or ability to satisfy reciprocity or corporate counsel requirements for admission into one of those jurisdictions.
• Typically requires 8+ years of prior experience, with mastery knowledge of the job area.
• Experience in securities law and public company reporting, ideally earned through a combination of law firm and in-house roles at a publicly traded company.
• Experience in the financial services industry is preferred but not required.
• Strong working knowledge of securities laws and public company reporting, including the Securities Act of 1933, the Securities Exchange Act of 1934, Section 16, Regulation FD, and NYSE listing standards.

Benefits

• Comprehensive benefits package including medical, dental, vision, life insurance, and disability coverage.
• Paid time off and retirement savings through a 401(k) plan.
• Wellness resources and other programs designed to support health and financial well-being, subject to plan terms and eligibility requirements.
• Eligible positions may participate in incentive compensation, bonuses, or other variable compensation, subject to applicable plans and performance criteria.

Pay

The salary range for this role is $172,300–$376,510. Compensation will be based on a variety of factors, including but not limited to education, work experience, skills, certifications, and geographic location.